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Original filing (PDF)20251009174958NAL0004143491001
PUMA BIOTECHNOLOGY, INC.
Form 5500
FILING_RECEIVED
PUMA BIOTECHNOLOGY, INC. 401(K) PLAN
401(k) retirement plan
Active participants
170
Accounts w/ balance
258
Plan assets (EOY)
$41.3M
Net assets (EOY)
$41.3M
How this plan invests
This plan
23 pooled trusts
Schedule D
31 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
100
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
100
Vendor stack
100
Participation health
100
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for PUMA BIOTECHNOLOGY, INC..
Plan sponsor
Name
PUMA BIOTECHNOLOGY, INC.
EIN
77-0683487
Address
10880 WILSHIRE BOULEVARD · SUITE 2150 · LOS ANGELES, CA · 90024
Phone
(424) 248-6500
Industry
Professional & Technical Servicessee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-09
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2T · Default investment account (QDIA)
2A · Age/service weighted or new comparability
2K · 401(m) arrangement
3D · Pre-approved plan (master / prototype / VS)
Audit & trust (Schedule H)
Auditor
PKF SAN DIEGO, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
3 rowsRecordkeeper
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| FIDELITY INVESTMENTS INSTITUTIONAL | 04-2647786 | — | RECORDKEEPER | $24K | — |
Advisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| THE BALDWIN GROUP WEALTH ADVISORS | 47-5476782 | — | ADVISOR | $72K | — |
| STRATEGIC ADVISORS, INC. | 04-2654524 | — | ADVISOR | $9K | — |
Investments
15 direct securities · 23 pooled funds· $41.3M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Common Collective Trust
$26.3M
23 holdings
Uncategorized
$15.0M
15 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| FID 500 INDEX Mutual fund | — | — | — | $7.4M | 17.9% | |
| FLEXPATH+MOD 2035 R1 GREAT GRAY TRUST COMPANY · EIN 47-3002484 / PN 232 | Common Collective Trust | — | — | $6.7M | 16.2% | |
| LARGE CAP GRTH II R1 GREAT GRAY TRUST COMPANY · EIN 38-4139848 / PN 626 | Common Collective Trust | — | — | $4.5M | 11.0% | |
| FLEXPATH+MOD RET R1 GREAT GRAY TRUST COMPANY · EIN 47-2851418 / PN 001 | Common Collective Trust | — | — | $4.2M | 10.2% | |
| FLEXPATH+MOD 2045 R1 GREAT GRAY TRUST COMPANY · EIN 47-3071639 / PN 001 | Common Collective Trust | — | — | $3.3M | 8.0% | |
| STABLE VALUE FUND R1 GREAT GRAY TRUST COMPANY · EIN 85-4031707 / PN 653 | Common Collective Trust | — | — | $2.7M | 6.6% | |
| PUTN LARGE CP VAL R1 GREAT GRAY TRUST COMPANY, LLC · EIN 38-4065329 / PN 426 | Common Collective Trust | — | — | $1.5M | 3.7% | |
| AF INTL VANTAGE R6 Mutual fund | — | — | — | $1.5M | 3.7% | |
| DODGE & COX INCOME I Mutual fund | — | — | — | $1.3M | 3.2% | |
| FID INTL INDEX Mutual fund | — | — | — | $1.3M | 3.1% | |
| FLEXPATH+MOD 2055 R1 GREAT GRAY TRUST COMPANY · EIN 47-3188067 / PN 001 | Common Collective Trust | — | — | $1.0M | 2.5% | |
| FID MID CAP IDX Mutual fund | — | — | — | $997K | 2.4% | |
| FLEXPATH+AGR 2035 R1 GREAT GRAY TRUST COMPANY · EIN 47-2987118 / PN 231 | Common Collective Trust | — | — | $738K | 1.8% | |
| FLEXPATH+AGR 2045 R1 GREAT GRAY TRUST COMPANY · EIN 47-3026996 / PN 234 | Common Collective Trust | — | — | $634K | 1.5% | |
| VICTORY S EST VAL R6 Mutual fund | — | — | — | $625K | 1.5% | |
| SMALL CAP VAL III R1 GREAT GRAY TRUST COMPANY, LLC · EIN 38-7289846 / PN 001 | Common Collective Trust | — | — | $542K | 1.3% | |
| FID SM CAP IDX Mutual fund | — | — | — | $533K | 1.3% | |
| Participant Loans Interest rates from 5.25% to 10.50% -0- | — | — | — | $370K | 0.9% | |
| PIMCO INCOME INST Mutual fund | — | — | — | $346K | 0.8% | |
| MFS NEW DISCOVERY R6 Mutual fund | — | — | — | $214K | 0.5% | |
| J H ENTERPRISE N Mutual fund | — | — | — | $155K | 0.4% | |
| DFA EMRG MKT CORE EQ Mutual fund | — | — | — | $154K | 0.4% | |
| FLEXPATH+AGR 2055 R1 GREAT GRAY TRUST COMPANY · EIN 47-3170652 / PN 237 | Common Collective Trust | — | — | $147K | 0.4% | |
| FLEXPATH+CON 2035 R1 GREAT GRAY TRUST COMPANY · EIN 47-3018134 / PN 001 | Common Collective Trust | — | — | $120K | 0.3% | |
| MFS GLOBAL RE R6 Mutual fund | — | — | — | $110K | 0.3% | |
| FLEXPATH+AGR RET R1 GREAT GRAY TRUST COMPANY · EIN 47-2836296 / PN 001 | Common Collective Trust | — | — | $49K | 0.1% | |
| FID GOVT MMKT K6 Mutual fund | — | — | — | $12K | <0.1% | |
| FID US BOND IDX Mutual fund | — | — | — | $6K | <0.1% | |
| FLEXPATH+CON RET R1 GREAT GRAY TRUST COMPANY · EIN 47-2916729 / PN 001 | Common Collective Trust | — | — | $4K | <0.1% | |
| FLEXPATH+CON 2045 R1 GREAT GRAY TRUST COMPANY · EIN 47-3144367 / PN 001 | Common Collective Trust | — | — | $4K | <0.1% | |
| FLEXPATH+CON 2055 R1 GREAT GRAY TRUST COMPANY · EIN 47-3216409 / PN 001 | Common Collective Trust | — | — | $1K | <0.1% | |
| FLEXPATH+MOD 2025 R1 GREAT GRAY TRUST COMPANY · EIN 47-2950747 / PN 001 | Common Collective Trust | — | — | $0 | <0.1% | |
| FLEXPATH+CON 2025 R1 GREAT GRAY TRUST COMPANY · EIN 47-2961375 / PN 001 | Common Collective Trust | — | — | $0 | <0.1% | |
| FLEXPATH+AGR 2025 R1 GREAT GRAY TRUST COMPANY · EIN 47-2935740 / PN 001 | Common Collective Trust | — | — | $0 | <0.1% | |
| FLEXPATH+AGR 2055 R1 GREAT GRAY TRUST COMPANY · EIN 47-3170652 / PN 001 | Common Collective Trust | — | — | $0 | <0.1% | |
| FLEXPATH+MOD 2035 R1 GREAT GRAY TRUST COMPANY · EIN 47-3002484 / PN 001 | Common Collective Trust | — | — | $0 | <0.1% | |
| FLEXPATH+AGR 2035 R1 GREAT GRAY TRUST COMPANY · EIN 47-2987118 / PN 001 | Common Collective Trust | — | — | $0 | <0.1% | |
| FLEXPATH+AGR 2045 R1 GREAT GRAY TRUST COMPANY · EIN 47-3026996 / PN 001 | Common Collective Trust | — | — | $0 | <0.1% |
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